Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/04?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-04-18T16:16:53-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2016/04/29/2016-10020.html Notice - AllianceBernstein L.P. and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P.; Notice of Application 2016-04-29T00:00:00-07:00 2016-04-29T00:00:00-07:00 2016-10020 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-29/pdf/2016-10020.pdf https://regulations.justia.com/regulations/fedreg/2016/04/29/2016-10019.html Notice - Madison ETF Trust and Madison ETF Advisers, LLC.; Notice of Application 2016-04-29T00:00:00-07:00 2016-04-29T00:00:00-07:00 2016-10019 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-29/pdf/2016-10019.pdf https://regulations.justia.com/regulations/fedreg/2016/04/29/2016-09983.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Partial Amendment Nos. 1 and 2 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt NYSE Rule 67 To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement A Tick Size Pilot Program 2016-04-29T00:00:00-07:00 2016-04-29T00:00:00-07:00 2016-09983 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-29/pdf/2016-09983.pdf https://regulations.justia.com/regulations/fedreg/2016/04/29/2016-09975.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Definition of “Block” for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 2016-04-29T00:00:00-07:00 2016-04-29T00:00:00-07:00 2016-09975 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-29/pdf/2016-09975.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/C1-2016-07937.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rules 7015(b) and (g) 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 C1-2016-07937 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/C1-2016-07937.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-10031.html Notice - In the Matter of Valentine Beauty Inc., File No. 500-1; Order of Suspension of Trading 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-10031 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-10031.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09931.html Notice - Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09931 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09931.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09930.html Notice - Order Regarding Review of Fasb Accounting Support Fee for 2016 Under Section 109 of the Sarbanes-Oxley Act of 2002 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09930 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09930.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09902.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09902 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09902.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09901.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09901 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09901.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09900.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To (i) Amend BOX Rule 7280 (Bulk Cancellation of Trading Interest) To Adopt a Kill Switch and (ii) Amend BOX Rule 7110 (Order Entry) To Modify the Circumstances That Will Prevent a Session Order From Being Cancelled 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09900 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09900.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09899.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09899 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09899.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09898.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Qualified Contingent Cross Pricing 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09898 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09898.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09897.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09897 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09897.pdf https://regulations.justia.com/regulations/fedreg/2016/04/28/2016-09896.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 606 2016-04-28T00:00:00-07:00 2016-04-28T00:00:00-07:00 2016-09896 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-28/pdf/2016-09896.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09725.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Procedures for the Allocation of Cages to Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Fee 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09725 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09725.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09724.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Procedures for the Allocation of Cages to Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Fee 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09724 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09724.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09723.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Procedures for the Allocation of Cages to Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Fee 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09723 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09723.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09722.html Notice - Joint Industry Plan; Order Approving the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09722 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09722.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09721.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish a Secondary Contingency Procedure To Enable the Exchange To Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09721 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09721.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09720.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable To Conduct a Closing Transaction 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09720 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09720.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09719.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rule 123C-Equities To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable To Conduct a Closing Transaction 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09719 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09719.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09718.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the GCF Repo® Service 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09718 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09718.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09717.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09717 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09717.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09716.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Qualified Contingent Cross Pricing 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09716 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09716.pdf https://regulations.justia.com/regulations/fedreg/2016/04/27/2016-09715.html Notice - ABS Long/Short Strategies Fund and ABS Investment Management LLC; Notice of Application 2016-04-27T00:00:00-07:00 2016-04-27T00:00:00-07:00 2016-09715 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-27/pdf/2016-09715.pdf https://regulations.justia.com/regulations/fedreg/2016/04/26/2016-09598.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7014 2016-04-26T00:00:00-07:00 2016-04-26T00:00:00-07:00 2016-09598 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-26/pdf/2016-09598.pdf https://regulations.justia.com/regulations/fedreg/2016/04/26/2016-09597.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2 2016-04-26T00:00:00-07:00 2016-04-26T00:00:00-07:00 2016-09597 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-26/pdf/2016-09597.pdf https://regulations.justia.com/regulations/fedreg/2016/04/26/2016-09596.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVolTM 2016-04-26T00:00:00-07:00 2016-04-26T00:00:00-07:00 2016-09596 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-26/pdf/2016-09596.pdf https://regulations.justia.com/regulations/fedreg/2016/04/26/2016-09595.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2016-04-26T00:00:00-07:00 2016-04-26T00:00:00-07:00 2016-09595 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-26/pdf/2016-09595.pdf https://regulations.justia.com/regulations/fedreg/2016/04/26/2016-09594.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule 2016-04-26T00:00:00-07:00 2016-04-26T00:00:00-07:00 2016-09594 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-26/pdf/2016-09594.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09714.html Notice - Sunshine Act Meeting 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09714 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09714.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09646.html Notice - Order of Suspension of Trading; in the Matter of CelLynx Group, Inc., Dot VN, Inc., and Global Health Voyager, Inc. 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09646 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09646.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09645.html Notice - Order of Suspension of Trading; In the Matter of Gold Hills Mining, Ltd., Massive Dynamics, Inc., Medisafe 1 Technologies Corp., and MDU Communications International, Inc. 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09645 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09645.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09644.html Notice - Sunshine Act Meeting 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09644 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09644.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09593.html Notice - Sunshine Act Meeting 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09593 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09593.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09455.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the CHX SNAP Incentive Program 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09455 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09455.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09454.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09454 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09454.pdf https://regulations.justia.com/regulations/fedreg/2016/04/25/2016-09453.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Obsolete Rules 2016-04-25T00:00:00-07:00 2016-04-25T00:00:00-07:00 2016-09453 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-25/pdf/2016-09453.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09361.html Notice - Submission for OMB Review; Comment Request 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09361 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09361.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09360.html Notice - Submission for OMB Review; Comment Request 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09360 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09360.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09359.html Notice - Submission for OMB Review; Comment Request 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09359 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09359.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09358.html Notice - Submission for OMB Review; Comment Request 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09358 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09358.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09323.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as Well as Amending the Exchange's Price List To Reflect the Changes 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09323 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09323.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09322.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as Well as Amending the Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the Changes 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09322 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09322.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09321.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as Well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Reflect the Changes 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09321 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09321.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09320.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.3 Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09320 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09320.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09319.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09319 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09319.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09318.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09318 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09318.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09317.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09317 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09317.pdf https://regulations.justia.com/regulations/fedreg/2016/04/22/2016-09056.html Proposed Rule - Business and Financial Disclosure Required by Regulation S-K 2016-04-22T00:00:00-07:00 2016-04-22T00:00:00-07:00 2016-09056 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-04-22/pdf/2016-09056.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09355.html Notice - Sunshine Act Meeting; Cancellation 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09355 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09355.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09207.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 4554 (Alternative Trading Systems-Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09207 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09207.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09206.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Additions to Permitted Cover 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09206 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09206.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09205.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Update and Formalize the ICC Stress Testing Framework 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09205 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09205.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09204.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule Applicable to the Exchange's Options Platform 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09204 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09204.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09203.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equities Options Platform 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09203 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09203.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09202.html Notice - Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09202 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09202.pdf https://regulations.justia.com/regulations/fedreg/2016/04/21/2016-09201.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy 2016-04-21T00:00:00-07:00 2016-04-21T00:00:00-07:00 2016-09201 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-21/pdf/2016-09201.pdf https://regulations.justia.com/regulations/fedreg/2016/04/20/2016-09210.html Notice - Sunshine Act Meeting 2016-04-20T00:00:00-07:00 2016-04-20T00:00:00-07:00 2016-09210 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-20/pdf/2016-09210.pdf https://regulations.justia.com/regulations/fedreg/2016/04/20/2016-09064.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I 2016-04-20T00:00:00-07:00 2016-04-20T00:00:00-07:00 2016-09064 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-20/pdf/2016-09064.pdf https://regulations.justia.com/regulations/fedreg/2016/04/20/2016-09063.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule 2016-04-20T00:00:00-07:00 2016-04-20T00:00:00-07:00 2016-09063 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-20/pdf/2016-09063.pdf https://regulations.justia.com/regulations/fedreg/2016/04/20/2016-09062.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 5, To List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust 2016-04-20T00:00:00-07:00 2016-04-20T00:00:00-07:00 2016-09062 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-20/pdf/2016-09062.pdf https://regulations.justia.com/regulations/fedreg/2016/04/20/2016-09061.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII 2016-04-20T00:00:00-07:00 2016-04-20T00:00:00-07:00 2016-09061 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-20/pdf/2016-09061.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08969.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt an Early Trading Session and Three New Time-in-Force Instructions 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08969 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08969.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08968.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72 Relating to Setting Interest 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08968 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08968.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08955.html Notice - Self-Regulatory Organizations; BATS-Y Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt an Early Trading Session and Three New Time-In-Force Instructions 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08955 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08955.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08948.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change To Modify Chapter VII Section B of the Exchange's Pricing Schedule 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08948 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08948.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08947.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08947 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08947.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08946.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08946 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08946.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08945.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018(a) 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08945 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08945.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08944.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08944 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08944.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08943.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08943 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08943.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08942.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 72-Equities Relating to Setting Interest 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08942 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08942.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08941.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Equity Transactions in Stocks With a per Share Stock Price More Than $1.00 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08941 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08941.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08940.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08940 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08940.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08939.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08939 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08939.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08938.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08938 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08938.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08935.html Notice - Aptus Capital Advisors, LLC, et al.; Notice of Application 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08935 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08935.pdf https://regulations.justia.com/regulations/fedreg/2016/04/19/2016-08934.html Notice - Newtek Business Services Corp.; Notice of Application 2016-04-19T00:00:00-07:00 2016-04-19T00:00:00-07:00 2016-08934 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-19/pdf/2016-08934.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08826.html Notice - Nuveen Fund Advisors, LLC, et al.; Notice of Application 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08826 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08826.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08825.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08825 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08825.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08824.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08824 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08824.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08823.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 4702 and 4703 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08823 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08823.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08822.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Adopt a Rebate Program for the NYSE BondsSM 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08822 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08822.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08821.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rule 7018(a) 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08821 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08821.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08820.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08820 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08820.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08819.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08819 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08819.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08818.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08818 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08818.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08817.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend the Redistribution Fee Set Forth in OPRA's Fee Schedule 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08817 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08817.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08816.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend the Professional Subscriber Device-Based Fees Set Forth in OPRA's Fee Schedule 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08816 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08816.pdf https://regulations.justia.com/regulations/fedreg/2016/04/18/2016-08815.html Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Certain Provisions of the OPRA's Fee Schedule 2016-04-18T00:00:00-07:00 2016-04-18T00:00:00-07:00 2016-08815 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-18/pdf/2016-08815.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08648.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08648 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08648.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08647.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08647 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08647.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08646.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08646 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08646.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08645.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 100 (Definitions) Relating to Professionals 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08645 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08645.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08644.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1 and 2 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08644 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08644.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08643.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7039 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08643 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08643.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08642.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Qualified Contingent Cross Rebates and Certain Floor Options Transaction Charges 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08642 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08642.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08641.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of AdvisorShares Cornerstone Small Cap ETF Under NYSE Arca Equities Rule 8.600 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08641 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08641.pdf https://regulations.justia.com/regulations/fedreg/2016/04/15/2016-08640.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2016-04-15T00:00:00-07:00 2016-04-15T00:00:00-07:00 2016-08640 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-15/pdf/2016-08640.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08560.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPXPM Pilot Program 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08560 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08560.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08559.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08559 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08559.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08558.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade of Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF Under NYSE Arca Equities Rule 8.600 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08558 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08558.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08557.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.1A 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08557 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08557.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08556.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08556 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08556.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08555.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08555 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08555.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08554.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, To List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08554 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08554.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08553.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Reduce the Synchronization Tolerance for Computer Clocks That Are Used To Record Events in NMS Securities and OTC Equity Securities 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08553 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08553.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08552.html Notice - Submission for OMB Review; Comment Request 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08552 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08552.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08551.html Notice - Submission for OMB Review; Comment Request 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08551 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08551.pdf https://regulations.justia.com/regulations/fedreg/2016/04/14/2016-08550.html Notice - Submission for OMB Review; Comment Request 2016-04-14T00:00:00-07:00 2016-04-14T00:00:00-07:00 2016-08550 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-14/pdf/2016-08550.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08611.html Notice - Order of Suspension of Trading; In the Matter of Business Marketing Services, Inc., Diversified Corporate Resources, Inc., Great Lakes Recreation Co., Green Nature USA, Inc., Green St. Energy, Inc., International Total Services, Inc., J.P. Cabot Realty, Inc., Multicom Publishing, Pan American Resources, Inc., Printron, Inc., Seaboard Associates, Inc., Sona Mobile Holdings Group, Ltd., Standard Holdings Group, Ltd., TraceGuard Technologies, Inc., Tradings.net, Inc., US-Worldlink.com, Inc., Versadial, Inc., Voxcorp, Inc., and W3OTC, Inc. 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08611 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08611.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08444.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Amendments to Board Rules Relating to Inspections 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08444 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08444.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08429.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08429 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08429.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08428.html Notice - Self-Regulatory Organizations; ISE Mercury; Notice of Filing of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08428 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08428.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08427.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08427 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08427.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08426.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to LMMs and DPMs 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08426 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08426.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08425.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7015(g)(1) and 7034 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08425 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08425.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08424.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development, Significant Modification of Algorithmic Trading Strategies or Responsible for the Day-to-Day Supervision of Such Activities 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08424 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08424.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08423.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, in the Consolidated FINRA Rulebook 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08423 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08423.pdf https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08422.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the WBI Tactical Rotation Shares Under NYSE Arca Equities Rule 8.600 2016-04-13T00:00:00-07:00 2016-04-13T00:00:00-07:00 2016-08422 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08422.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08484.html Notice - In the Matter of Royale Globe Holding Inc., File No. 500-1; Order of Suspension of Trading 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08484 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08484.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08446.html Notice - Sunshine Act Meeting 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08446 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08446.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08445.html Notice - Sunshine Act Meeting 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08445 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08445.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08307.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08307.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08306.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Options That Overlie a Reduced Value of the FTSE 100 Index and the FTSE China 50 Index 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08306 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08306.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08305.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule ChangeTo Amend Rule 1064 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08305.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08304.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend Rule 952NY With Respect to Opening Trading in an Options Series 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08304 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08304.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08303.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Rule 6.64 With Respect to Opening Trading in an Options Series 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08303 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08303.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08302.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt an Early Trading Session and Three New Time-In-Force Instructions 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08302 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08302.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08301.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt an Early Trading Session and Three New Time-in-Force Instructions 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08301.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08300.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08300.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08299.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Section 4.01(a) of the NYSE Arca's Bylaws and NYSE Arca Rule 3.3 To Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08299.pdf https://regulations.justia.com/regulations/fedreg/2016/04/12/2016-08298.html Notice - Türkiye Sinai Kalkinma Bankasi A.Ş.; Notice of Application 2016-04-12T00:00:00-07:00 2016-04-12T00:00:00-07:00 2016-08298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-12/pdf/2016-08298.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08228.html Notice - Equity Market Structure Advisory Committee 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08228 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08228.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08186.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of the Exchange Related to Market Makers 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08186 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08186.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08185.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Its Equity Options Platform 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08185 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08185.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08184.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Its Equity Options Platform 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08184 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08184.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08183.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08183 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08183.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08182.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To List and Trade Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08182 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08182.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08181.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Add Fees for Reserve Market Maker Options Trading Permits 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08181 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08181.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08180.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16 To Specify That Sell Short Post No Preference Orders and Sell Short PNP Blind Orders Priced At or Below the National Best Bid Will Be Rejected on Arrival During the Short Sale Period 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08180 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08180.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08179.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System (“EOC”) 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08179 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08179.pdf https://regulations.justia.com/regulations/fedreg/2016/04/11/2016-08178.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System (“EOC”) 2016-04-11T00:00:00-07:00 2016-04-11T00:00:00-07:00 2016-08178 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-11/pdf/2016-08178.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08076.html Proposed Rule - Certain Natural Gas and Electric Power Contracts 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08076 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08076.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08047.html Notice - Madison ETF Trust and Madison ETF Advisers, LLC; Notice of Application 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08047 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08047.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08046.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Diversified Alternative ETF 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08046 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08046.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08045.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08045 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08045.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08044.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes in Connection With the Operation of the Exchange's Equity Options Platform 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08044 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08044.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08043.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes in Connection With the Operation of the Exchange's Equity Options Platform 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08043 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08043.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08042.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Exchange's Amended and Restated By-Laws 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08042 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08042.pdf https://regulations.justia.com/regulations/fedreg/2016/04/08/2016-08041.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (“NextShares”)) 2016-04-08T00:00:00-07:00 2016-04-08T00:00:00-07:00 2016-08041 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-08/pdf/2016-08041.pdf https://regulations.justia.com/regulations/fedreg/2016/04/07/2016-07938.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF of the SSgA Active Trust 2016-04-07T00:00:00-07:00 2016-04-07T00:00:00-07:00 2016-07938 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-07/pdf/2016-07938.pdf https://regulations.justia.com/regulations/fedreg/2016/04/07/2016-07937.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rules 7015(b) and (g) 2016-04-07T00:00:00-07:00 2016-04-07T00:00:00-07:00 2016-07937 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-07/pdf/2016-07937.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07967.html Notice - In the Matter of Go EZ Corp.; Order of Suspension of Trading 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07967 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07967.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07838.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures To Promote Greater Efficiency and Transparency at the Open of Trading on the Exchange 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07838 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07838.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07835.html Notice - Advisors Asset Management, Inc. and AAM ETF Trust; Notice of Application 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07835 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07835.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07834.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07834 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07834.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07833.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change Related to Market Wide Risk Protection 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07833 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07833.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07832.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To List and Trade Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07832 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07832.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07831.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07831 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07831.pdf https://regulations.justia.com/regulations/fedreg/2016/04/06/2016-07830.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.26 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-04-06T00:00:00-07:00 2016-04-06T00:00:00-07:00 2016-07830 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-06/pdf/2016-07830.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07829.html Notice - Sunshine Act Meeting 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07829 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07829.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07704.html Notice - FactorShares Trust, et al.; Notice of Application 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07704 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07704.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07689.html Notice - OHA Investment Corporation, et al.; Notice of Application 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07689 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07689.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07688.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07688 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07688.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07687.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, To List and Trade Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07687 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07687.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07686.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07686 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07686.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07685.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07685 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07685.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07684.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rule 86 To Add Additional Order Types to the NYSE BondsSM 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07684 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07684.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07683.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend BATS' Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07683 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07683.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07682.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Partnerships 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07682 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07682.pdf https://regulations.justia.com/regulations/fedreg/2016/04/05/2016-07681.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to J.P. Morgan Exchange-Traded Fund Trust, JPMorgan Diversified Return International Currency Hedged ETF, and JPMorgan Diversified Return Europe Currency Hedged ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2016-04-05T00:00:00-07:00 2016-04-05T00:00:00-07:00 2016-07681 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-05/pdf/2016-07681.pdf https://regulations.justia.com/regulations/fedreg/2016/04/04/2016-07600.html Notice - Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not To Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount 2016-04-04T00:00:00-07:00 2016-04-04T00:00:00-07:00 2016-07600 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-04/pdf/2016-07600.pdf https://regulations.justia.com/regulations/fedreg/2016/04/04/2016-07586.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program 2016-04-04T00:00:00-07:00 2016-04-04T00:00:00-07:00 2016-07586 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-04/pdf/2016-07586.pdf https://regulations.justia.com/regulations/fedreg/2016/04/04/2016-07515.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Article 20, Rule 13 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program (“Plan”) 2016-04-04T00:00:00-07:00 2016-04-04T00:00:00-07:00 2016-07515 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-04/pdf/2016-07515.pdf https://regulations.justia.com/regulations/fedreg/2016/04/04/2016-07513.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether to Approve or Disapprove Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules 2016-04-04T00:00:00-07:00 2016-04-04T00:00:00-07:00 2016-07513 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-04/pdf/2016-07513.pdf https://regulations.justia.com/regulations/fedreg/2016/04/04/2016-07512.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc., BATS Y-Exchange, Inc., EDGX Exchange, Inc., EDGA Exchange, Inc.; Order Approving Proposed Rule Changes To Amend and Restate the Certificate of Incorporation and Bylaws of the Exchanges' Ultimate Parent Company, BATS Global Markets, Inc. 2016-04-04T00:00:00-07:00 2016-04-04T00:00:00-07:00 2016-07512 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-04/pdf/2016-07512.pdf https://regulations.justia.com/regulations/fedreg/2016/04/04/2016-07511.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto, To List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF Under NYSE Arca Equities Rule 8.600 2016-04-04T00:00:00-07:00 2016-04-04T00:00:00-07:00 2016-07511 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-04/pdf/2016-07511.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07561.html Rule - General Rules and Regulations, Securities Exchange Act of 1934 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07561 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07561.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07356.html Notice - Submission for OMB Review; Comment Request 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07356 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07356.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07355.html Notice - Submission for OMB Review; Comment Request 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07355 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07355.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07337.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete From the Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07337 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07337.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07336.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete From the Exchange's Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07336 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07336.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07335.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 3317 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07335 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07335.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07334.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 4770 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07334 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07334.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07333.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 4770 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07333 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07333.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07332.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07332 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07332.pdf https://regulations.justia.com/regulations/fedreg/2016/04/01/2016-07331.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Maximum Number of Times an Order on Nasdaq May Be Updated Before The System Cancels The Order 2016-04-01T00:00:00-07:00 2016-04-01T00:00:00-07:00 2016-07331 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-01/pdf/2016-07331.pdf